Communications surveillance: A company-wide consideration

Aug 15th '23

The Securities Exchange Commission’s (SEC’s) primary function is to protect investors, by drafting and enforcing regulations which hold firms accountable for their actions. One fundamental example of this is that all interactions between brokers and investors must be scrutinized, to ensure no wrongdoing.


The prevalence of digital communications in the modern world has prompted a regulatory overhaul, and since September 2022, the SEC has expanded record-keeping requirements significantly. Two of their standout actions are listed below.


  1. Rolling out a new marketing rule, which has fundamentally altered which communications must be captured by regulated firms.
  2. Alongside the Financial Industry Regulation Authority (FINRA) and Commodities Futures Trading commission (CTFC), administering billions of dollars worth of penalties in an industry-wide crackdown on the illicit use of mobile devices.


As a result of this activity, compliance has taken center stage. Communications surveillance  platforms are now less of an insurance policy and more of a mandatory requirement. More than ever, the compliance function directly impacts staff behaviors, and so its implementation will affect the entire organization it serves, rather than just the compliance team. It’s no longer just a box to be ticked.


Read the full article, here.


Source: Global Banking & Finance Review


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